| Jul 29 2022 |
West Virginia Penalizes Major Companies for Embracing ESG Principles |
Mintz |
| Jul 29 2022 |
The Power of ESG-Issues to Blur Traditional Jurisdiction of Regulators |
Nishith Desai Associates |
| Jul 29 2022 |
SEC v. Wahi: An Enforcement Action that Could Impact the Broader Crypto / Digital Assets Industry |
K&L Gates LLP |
| Jul 29 2022 |
Rise of Financial Crime in the NFT Market Elicits New Scrutiny from Regulators |
Proskauer Rose LLP |
| Jul 28 2022 |
A Diffuse Mission for the SEC's Climate and ESG Task Force? |
Mintz |
| Jul 28 2022 |
Déjà Vu All Over Again: SEC Reverses 2020 Proxy Rules Changes and Proposes Shareholder Proposal Rule Changes |
K&L Gates LLP |
| Jul 28 2022 |
7 FINRA/SEC Wells Notice Step-by-Step Response Strategies |
Oberheiden P.C. |
| Jul 28 2022 |
SEC Amends Electronic Filing Requirements for Form 144, Form 11-K, and Annual Reports |
Jones Walker LLP |
| Jul 28 2022 |
"All Purchasers" Does Not Always Mean All Purchasers |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 27 2022 |
Number of Securities Class Action Filings Remains Steady in First Half of 2022 |
Cornerstone Research |
| Jul 27 2022 |
Is Crypto a Security? Insider Trading Case Leads to DOJ, SEC Scrutiny |
Barnes & Thornburg LLP |
| Jul 27 2022 |
Block Trades, EFRPs and Assorted Other Trade Practice Issues: A Practical Guide of Current Status |
Katten |
| Jul 27 2022 |
The "Other Shoe Drops" - SEC Investigating Coinbase |
Mintz |
| Jul 27 2022 |
A Cloak Secrecy That Unbecomes The SEC |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Jul 26 2022 |
Time to Evaluate Your Filer Status for Next Year |
Mintz |
| Jul 26 2022 |
SEC Announces $17 Million Award to Whistleblower |
Proskauer Rose LLP |
| Jul 25 2022 |
FINRA Facts and Trends: July 2022 |
Bracewell LLP |
| Jul 25 2022 |
Mony a Mickle Maks a Muckle: SEC Charges Foreign Nationals with Two Microcap Frauds |
Norris McLaughlin P.A. |
| Jul 22 2022 |
United States: SEC Rescinds Conditions to Proxy Voting Advice Exemptions |
K&L Gates LLP |
| Jul 22 2022 |
Second Circuit Declines to Allow SEC Rule 10b-5 Claim for “Scheme Liability” to Proceed Where the Alleged Misconduct Amounted Only to the Making of Material Misstatements or Omissions |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 22 2022 |
Government Brings First Cryptocurrency Insider Trading Charges |
Hunton Andrews Kurth |
| Jul 21 2022 |
Crypto Interest-Bearing Accounts, the Next Target? |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 21 2022 |
Sales Tax on NFTs: Washington State Guidance Blazes Trail Other States May Follow |
Greenberg Traurig, LLP |
| Jul 21 2022 |
Payday Lender Ordered to Pay $39 Million in Misappropriated Funds Suit |
Sheppard, Mullin, Richter & Hampton LLP |
| Jul 21 2022 |
4 FAQs and 3 Defense Strategies for SEC Investigations |
Oberheiden P.C. |
| Jul 21 2022 |
Sixth Circuit Upholds Dismissal of Some Investment Fee and Performance Claims But Allows Mutual Fund Share Class Claim to Proceed to Discovery |
Proskauer Rose LLP |
| Jul 21 2022 |
Insight: Important Matters to Consider when Facing a Possible Down Round Financing |
Mintz |
| Jul 21 2022 |
Second Circuit Rejects Supreme Court? |
Katten |
| Jul 20 2022 |
What Public Comments on the SEC’s Proposed Climate-Related Rules Reveal—and the Impact They May Have on the Proposed Rules |
Mintz |
| Jul 20 2022 |
SEC Whistleblower Receives $17 Million Award for Opening Investigation |
Kohn, Kohn & Colapinto |
| Jul 19 2022 |
Investment Services Regulatory Update July 2022 |
Vedder Price |
| Jul 19 2022 |
Financial Markets and Funds Quick Take | Issue 4 |
Katten |
| Jul 18 2022 |
Is it Time to Consider Alternative Financing Strategies? |
Foley & Lardner LLP |
| Jul 18 2022 |
Fingers in the Till: SEC Charges Texas City Administrator with Falsified Financial Statements to Conceal Embezzlement |
Norris McLaughlin P.A. |
| Jul 15 2022 |
SEC Awards Over $6 Million to Two Whistleblowers |
Kohn, Kohn & Colapinto |
